Strategic Financial Crime Director

4 days ago

Manchester, United Kingdom AJ Bell Management Limited Full time
About the Role

We are seeking an experienced Head of Financial Crime to provide strategic direction for our established risk-based Financial Crime framework.

This is a 'hands-on' role and the successful individual will be responsible for the development of a Financial Crime strategy designed to drive, promote, and mature a strong Financial Crime culture within the business to support compliant, sustainable growth and business operations.

Responsibilities
  • Establish and maintain policies and procedures to ensure that the Group continues to meet all its financial crime regulatory and legislative requirements.
  • Undertake and produce an annual enterprise-wide risk assessment (ERWA) to determine the inherent risk related to the risk mitigation controls and residual risk across the organisation.
  • Use the ERWA to inform an annual MLRO report to the Group's Risk & Compliance Committee.
  • Produce dynamic and insightful reporting on activity for the CRO, ExCo, the Executive Risk Committee and the Risk and Compliance Committee in a form and frequency agreed with the CRO.
Horizon Scanning & Analysis
  • Analyse changes to relevant regulation and legislation which impact the Group's financial crime framework and evaluate the changes necessary.
  • Monitor financial crime issues affecting the Group and escalate them as appropriate with agreed actions.

Requirements

  • Experience managing and implementing Financial Crime frameworks in medium to large financial services institutions.
  • Qualified in all aspects of financial crime; KYC, AML, CFT, sanctions screening, with experience of assessing, implementing, and optimising Market Abuse/ Financial Crime controls.
  • Strong understanding of the regulatory requirements that apply to investment platforms and asset managers.
  • Strong change and project management skills, including the ability to plan and monitor projects, manage time well, prioritise effectively and handle multiple deadlines.
  • Strong, credible stakeholder management and the ability to collaborate with diverse teams across the business.

About Us

AJ Bell is one of the fastest-growing investment platform businesses in the UK offering an award-winning range of solutions that caters for everyone, from professional financial advisers, to DIY investors with little to no experience.

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